This course will introduce students to regulatory and enforcement environment in which stock brokerage firms, mutual fund companies and hedge funds operate. The course also will cover regulatory and enforcement trends relating to derivative products, including new requirements associated with the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"). The goal of this course is to introduce students to the regulatory and enforcement regime used by government agencies (e.g., the United States Securities and Exchange Commission) and industry (e.g., in-house counsel, compliance and risk management professionals) involved in regulating financial institutions, financial industry professionals, and certain financial products.
